FNS40820 Cert IV in Finance and

Mortgage Broking
Activity/Unit: FNSCUS511 Develop and maintain
professional relationships in financial services industry

Learner Details:

First name: Surname:

ISM number:
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Learner Declaration

• I have read and understood the details of the assessment

• I have been informed of the conditions of the assessment and the
appeals process. (Available in the Participant Guide on your Learner
Portal)
• I certify that the attached is my own work.
• No unacknowledged source material is included and where I have used
the work, this is noted.
• I have kept a copy of my assessment.

Learner’s signature _______________________________________ Date

(If submitting hardcopy, please sign. Unsigned work will be returned, unmarked)

Assessor Comments

Assessment Result: ☐ Satisfactory ☐ Unsatisfactory

Assessor’s Name, Signature & Date:

A_FNS40820_FNSCUS511 Asst 2_V1.0.docx Page 1 of 6

Institute of Strategic Management
ABN: 68 133 955 441
Assessment 2 - Workplace Skills
Information you need to know
The following assessment is based on your organisation or one with which you
are familiar. If you are currently employed then you may structure your
responses using examples from that employment; or you may respond using
experiences from a previous employment, or a combination of one or more.
If you are not employed then your responses would include what you would
see as most appropriate for that question, as if you were employed. You may
use examples from personal and/or social experiences if relevant to the
question.
If you are not working, you can also research a workplace of your choice to
respond to each of the questions.

Instructions

This assessment covers all the sections of the learning materials and should be
completed after reviewing the learning materials.

There are 2 parts to this assessment. Please complete all the questions within
each part.

If you are unsure about any part of the assessment please contact your assessor
or email admin@ism.nsw.edu.au

Part 1 (800-1,000 words)

You are growing your team and want to improve your ‘self-sourced’ leads
generation to expand the business. You have 2 new team members who both
have some previous industry experience although they are new to your
organisation.

You have completed your studies on “Develop and maintain professional

relationships in financial services industry” and referring to your skills learned
need to develop your team.

Answer the following questions over the page:

A_FNS40820_FNSCUS511 Asst 2_V1.0.docx Page 2 of 6

Institute of Strategic Management
ABN: 68 133 955 441
 1. What are some of the activities you could undertake to expand your
team member’s knowledge and confidence to develop their
relationships within the financial services industry? In your response
ensure you list at least 3 activities and explain how each of the activities
will assist the team member.

2. What would be the key elements you would require your team
members to demonstrate to expand your organisational reputation?
List and explain at least 5 elements.

A_FNS40820_FNSCUS511 Asst 2_V1.0.docx Page 3 of 6

Institute of Strategic Management
ABN: 68 133 955 441
 3. What are some of the skills and attributes you would require your team
members to have when dealing with their contacts? List and explain
three areas.

4. What systems would you expect your team members to use to develop
relationships to maintain contact with their clients, professionals and
third party referrers?

A_FNS40820_FNSCUS511 Asst 2_V1.0.docx Page 4 of 6

Institute of Strategic Management
ABN: 68 133 955 441
 5. What networking opportunities would you encourage your team
members to be involved in and how would you help them be confident
networkers?

A_FNS40820_FNSCUS511 Asst 2_V1.0.docx Page 5 of 6

Institute of Strategic Management
ABN: 68 133 955 441
Part 2

Successful brokers build relationships at all levels. In this part of the

assessment you are required to record some of the actions you have
taken throughout your broker journey to build relationships with your
aggregator, Business Development manager, (BDM), and a third party
referrer eg Real Estate agent or Accountant.

Use the table below to record the actions you have taken to develop and
maintain your relationships with each.

Relationship What actions have you What actions have you

undertaken to establish taken (will take) to
the relationship? build and maintain the
relationship.
1.

2.

3.

A_FNS40820_FNSCUS511 Asst 2_V1.0.docx Page 6 of 6

Institute of Strategic Management
ABN: 68 133 955 441